in financial products (preferably Equity and Fixed Income Prime Services) for the role of Strategic Operations, Broker Dealer.... This role is tasked with manging and implementing the multiple projects ahead of the Broker Dealer Operations team. Marex...
Objectives The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function provides centralized... compliance support across the Advisory Function with respect to broker-dealer-applicable regulatory engagements, support function...
of day-to-day controls related to the Swap Dealer (e.g. Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls... in coordination with the controls Team. Act as back up for Broker/Dealer controls where needed. This includes ensuring high service...
knowledge of broker dealer OMS providers; hands on experience integrating with most major OMS platforms. Strong understanding... - presented by Global Fintech Awards ABOUT THIS ROLE We’re seeking a highly strategic and hands-on Senior Director, Execution...
broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency..., and processes across the Chase Wealth Management organization. This role is accountable for team leadership, strategic planning...
strategy for an Independent Broker Dealer that included product development, distribution and operations and technology..., operations, risk management, and organization transformation. The firm has more than 5,000 professionals around the world who...
: Exposure to broker/dealer, fintech, RIA, PE, and wealth advisory environments Familiarity with digital tools and automation...! This position is full-time, direct hire and hybrid. Overview: Are you a strategic thinker with a passion for internal audit, risk...
through our US broker dealer, Lloyds Securities Inc. Lloyds Bank is committed to attracting, retaining and developing the... York operations provides a gateway between the UK and North America for financial institutions and large corporate clients...
experience, with significant experience in a leadership role in similar industries (digital assets, banking, broker-dealer... members. ● Collaborate with cross-functional teams to support strategic initiatives and provide financial insights...
our US broker dealer, Lloyds Securities Inc. Lloyds Bank is committed to attracting, retaining and developing the best talent... operations provides a gateway between the UK and North America for financial institutions and large corporate clients, offering...
. Experience with mid-net-worth platforms like Symphonic Financial Advisors. Knowledge of broker-dealer and RIA operations.... Maintain and update the internal database containing client, advisor, and partner firm contact information, including broker...
with compliance and legal to ensure investment products meet broker-dealer regulatory standards (FINRA, SEC, etc.). Monitor product... as the key liaison between investment management, distribution, operations, compliance, and technology teams to ensure the...
and management. Broker-Dealer Compliance: Coordinate and execute compliance obligations for regulated securities transactions... arranged through a registered Broker-Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private...
and regulations related to Investment Management and Fiduciary activities Investment management experience (Broker/Dealer (FINRA...CHIEF FIDUCIARY OFFICER WM WHAT IS THE OPPORTUNITY? The Chief Fiduciary Officer provides strategic direction...
broker/dealer regulatory reporting team who will be responsible for the 15c-3 customer reserve calculation for BMO Chicago... with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO Chicago Branch treasury...
structure, broker-dealer operations, clearance and settlement, client onboarding, treasury operations, collateral management... opportunity The Capital Markets team helps clients to solve their most challenging strategic problems: modernizing...
in relevant areas, such as trade life cycle, front-office structure, broker-dealer operations, clearance and settlement, client... opportunity The Capital Markets team helps clients solve their most challenging strategic problems: modernizing...
areas, such as trade life cycle, front-office structure, broker-dealer operations, clearance and settlement, client... The Capital Markets team helps clients to solve their most challenging strategic problems: modernizing...
, a plus. Seven to Ten years of Compliance/Audit/Testing or related experience. Prior experience with broker-dealer or investment... to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30...
and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders... of a growing business. Our steady, strategic growth gives our people at all levels rewarding degrees of responsibility and a richer...